Regina M. Connelly
Professional summary
Regina Marie Connelly, who also goes by Regina Marie Russo, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Melville, New York.
Regina is registered as a RR (Registered Representative) and started their career in finance in 1991. Regina has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Regina Marie Connelly's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2019 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 105 Broadhollow Road, Melville, NY 11747December 19, 1991 - June 18, 2019
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/14/2019)
Exams
Series 8
Date: 2/12/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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